13. Successors Bound The form shall be binding upon the heirs, personal representatives, successors in title and permitted assigns of the Applicant.

Transcription

1 P P A a) I acknowledge that I have received, read and understood the First Replacement Disclosure Document dated 31 July 2014 for the Fund(s) to be invested in, supplementary Disclosure Document(s) (if any), and the terms and conditions stipulated in (i) CIMB-Principal Asset Management Berhad's website ( (ii) the PPA's website ( and (iii) the terms and conditions of this form including general terms and conditions overleaf and I undertake to be bound by them for my initial and subsequent transactions with CIMB-Principal Asset Management Berhad. I acknowledge that the same have been explained to me by CIMB-Principal Asset Management Berhad, and/or registered PRS consultant. b) I hereby declare that the particulars given herein are true, correct and complete, the documents submitted along with this application are genuine and that I have not withheld any material facts or information which may influence the acceptance of this application. I hereby undertake to promptly inform CIMB-Principal Asset Management Berhad of any changes to the information provided herein and agree and accept that CIMB-Principal Asset Management Berhad is not liable or responsible for any losses, costs and/or damages, arising out of any actions undertaken or activities performed by CIMB-Principal Asset Management Berhad on the basis of the information provided by me and also due to me not intimating/delay in intimating such changes. c) I am aware of the fees and charges that will be incurred by me directly and/or indirectly when investing in the PRS fund(s). I acknowledge and accept that CIMB-Principal Asset Management Berhad has absolute discretion to rely on this confirmation from me and I undertake to indemnify and hold harmless CIMB-Principal Asset Management Berhad, its employees and agents against all costs, expenses, loss or liabilities, claims and demands arising out of this confirmation. d) I agree and acknowledge that my participation in the CIMB-Principal PRS Plus Scheme(s) is subject to the terms and conditions between my employer and CIMB-Principal Asset Management Berhad, where applicable, and I fully agree to be bound by all further terms and conditions stipulated in this form. e) I declare that I have not been convicted by any court for any criminal offence whether within or outside Malaysia. f ) I confirm that I have read and understood the provision pertaining to anti-money laundering and counter financing terrorism (AML/CFT) contained overleaf. g) By affixing my signature below, I have therefore expressly provided the necessary consent for CIMB-Principal Asset Management Berhad to deal with my personal data as contained in the terms and conditions overleaf. Should I wish to change my instruction to CIMB-Principal Asset Management Berhad pertaining to my personal data, I may contact the Customer Care Centre or branch offices of CIMB-Principal Asset Management Berhad. (Please refer to overleaf for CIMB-Principal Asset Management Berhad's general terms and conditions) The Private Pension Administrator (PPA) is a body approved under section 139C of the Capital Markets and Services Act 2007 to perform the function of record keeping, administration and customer service for members and contributors in relation to contributions made in respect of a private retirement scheme. All PRS applicants are required to open an account with the PPA and upon successful creation of the respective account the PRS applicants are subsequently referred to as PPA members. SERIAL NO. [ ]

2 1. Account Opening a) The Applicant shall be bound by these terms and conditions, the Disclosure Document, the Supplementary Disclosure Document(s) (if any) and also the terms and conditions stated in this application form and the webpage of CIMB-Principal Asset Management Berhad ("CIMB-Principal") and the Private Pension Administrator ("PPA"). For further information about the PRS Scheme or Funds with CIMB-Principal, please refer to CIMB-Principal's webpage at and for further information about PPA, please refer to the PPA's webpage at b) CIMB-Principal and /or PPA shall be entitled at any time and without prior reference to the Applicant to add, vary or amend any or all of the terms and conditions herein at its sole and absolute discretion. c) Upon submission of this form as well as other supporting documents, the information contained therein will be used by CIMB-Principal and PPA for creation of account and record purposes. d) CIMB-Principal and PPA shall have absolute discretion in the opening of an account. e) All instructions and/or information given in writing to CIMB-Principal and/or PPA, including this form are binding on the Applicant. 2. Personal Data/Information Personal data provided by the Member on the joint application form and details of transactions or dealings by Members provided from time to time thereafter may be used and/or disclosed by CIMB-Principal and/or PPA and/or its personnel for the following purpose:- a) The use and/or disclosure of the PPA members' personal information to any party is necessary for the completion of any transactions, dealings or in connection with services that CIMB-Principal and/or PPA may provide to the PPA members; b) If required by the applicable laws, regulations, directives, guidelines, regulatory authorities, government authorities and/or court of competent jurisdiction; and c) To any CIMB-Principal and/or PPA's delegates, service providers or any third party that CIMB-Principal and/or PPA may engage on the basis that the recipient would continue to maintain confidentiality of the PPA's members personal information. d) Members are also advise to read the PPA Privacy Notification. 3. Change of Contact Details It shall be the PPA members' obligation to notify the PRS Provider and PPA of any change in PPA members address, or contact number immediately to ensure continuity in the receipt of communication from CIMB- Principal and PPA. 4. Anti-Money Laundering The Applicant hereby warrants that:- a) No person other than the applicant has or will have any interest in the account (where applicable); and b) All monies as may be paid to CIMB-Principal and/or PPA from time to time shall come from legitimate (and not illegal) source; c) The Applicant agrees to provide such information and documents as may be necessary to verify the Applicant's identity and do all such acts and things as may be necessary to enable CIMB-Principal and/or PPA to comply with all applicable anti-money laundering and counter financing terrorism (AML/CFT) and the governing law, rules and regulations (whether in Malaysia or elsewhere). The Applicant agrees that CIMB-Principal and/or PPA shall not be liable or responsible in anyway whatsoever and shall be held harmless against any loss arising as a result of or in connection with any delay or failure to process any application or transaction if such information or documents requested by CIMB-Principal and/or PPA have not been promptly provided by the Applicant to CIMB-Principal and/or PPA. d) CIMB-Principal and/or PPA reserves the right to terminate the relationship if any documents requested pursuant to the AML/CFT requirements are not received within 14 days. 1. The PPA members have been informed of the fees payable to the PPA. The PPA fees payable to the PPA are as follow:- a) Account opening fee (RM10) b) Annual maintenance fee (RM8) (payable only when there is contribution) c) Administration fee of 0.04% of the Fund s NAV charged to the funds by Provider The above may be collected by the PRS Provider acting on behalf of the PPA. For further information on the PPA's fees and charges, please refer to 2. PPA reserves the right after 6 months of notification to the member to close a PPA account that does not reflect any balance in the PPA account due to the following reasons: - a) Full amount withdrawn (upon attaining retirement age)/ permanent departure and account has zero units for 6 months; or b) Upon release of the deceased member s funds to beneficiaries/ nominees/ next-of-kin pursuant to a Letter of Administration or Grant of Probate. 3. Variation The PPA shall be entitled at any time and without prior reference to the PPA members to add, vary or amend any or all of the terms and conditions herein and/or the PPA s website and/or the joint application form at its sole and absolute discretion. 1. Applicant The Applicant warrants that they have the capacity, power and all necessary authorization under the laws of the jurisdiction to which it applies in the Fund(s)/Scheme(s) under such laws. Applicant must be 18 years old and above and not be an undischarged bankrupt at the date of application. Applications must be accompanied by a copy of the Applicant's identity card/passport and/or such other documents as CIMB- Principal may require from time to time. 2. Rights of Provider a) CIMB-Principal reserves the right to accept or reject any application in whole or in part thereof without assigning any reason in respect thereof, without compensation to the Applicant and the duly completed application form received by CIMB-Principal is deemed irrevocable by the Applicant. b) Notwithstanding anything contained herein, CIMB-Principal shall be at liberty to disregard or refuse to carry out any of the Applicant's instruction if the carrying out of such instructions, would be in contravention of any existing laws or regulatory requirements, whether or not having the force of law and/or would or may expose CIMB-Principal to any liability or risk (whether valid or otherwise). 3. Instructions/Voice Recordings a) All instructions given by the Applicant or its authorized representative either verbally or in writing, by facsimile transmission or such other permitted means of communication as notified by CIMB-Principal from time to time arising out of and/or in connection with the Applicants account held with CIMB-Principal, shall be binding on the Applicant. CIMB-Principal shall have no obligation to verify the authenticity of any such instructions or the identity of any person giving such instructions. b) The Applicant must submit a written request to CIMB-Principal to change their personal records and details. CIMB-Principal shall have the right to request any other documents or evidence before acting on any such change. In view of conflicting information on personal record and/or details, CIMB-Principal will only rely upon the personal record and/or details as provided in this form for all future transactions unless notified via a written request by the Applicant of a change of address and/or any other personal record/details. c) Any instruction or communication given to CIMB-Principal shall only take effect upon actual receipt by CIMB-Principal and during the normal working hours of CIMB-Principal. d) CIMB-Principal shall be entitled to use voice recording devices to record telephone instructions communicated to it and such recording(s) may constitute evidence of the instructions. 4. Fees, Charges and Expenses a) The Applicant shall be responsible for the payment of any charges, fees, costs, expenses and other liabilities properly payable or incurred by CIMB-Principal and in holding or executing transaction in respect to any contribution to the PRS Scheme. b) CIMB-Principal shall not be liable to pay any profit to the Applicant for any monies held by CIMB-Principal for the Applicant for any reason whatsoever. 5. Authorised PRS Consultant a) The Applicant should check that the PRS Consultant has a VALID authorization and registration card. All authorised PRS Consultants are registered with Federation of Investment Managers Malaysia (FiMM). For more information, please visit b) If a PRS Consultant is named in this Form, CIMB-Principal is entitled to process any instructions received from such PRS Consultant without further reference to the Applicant unless CIMB-Principal has received prior written instructions to the contrary from the Applicant. c) CIMB-Principal shall not be responsible for any action or omission on the part of the PRS Consultant and shall be under no obligation to verify the authenticity of the instructions received or to determine whether or not such instructions were authorized. The Applicant shall have no right of action against CIMB-Principal in connection with the execution by CIMB-Principal of such instructions and undertakes not to make any claim against CIMB- Principal in connection thereof. 6. Notices a) Any instruction or communication to be given by the Applicant to CIMB-Principal shall be in writing and sent to such address or any other alternative method as may be notified by CIMB-Principal from time to time to the Applicant and shall take effect upon actual receipt by CIMB-Principal and during the normal working hours of CIMB-Principal. b) All written communication from CIMB-Principal to the Applicant shall be sent to the last address notified or any other method prescribed and agreed to by the Applicant for the delivery of notices. 7. Statements These shall be sent at the risk of the Applicant to the Applicant's address or any other method prescribed and agreed to by the Applicant for the delivery of statements. If the Applicant fails to notify CIMB-Principal in writing of any errors in the statements within 14 days from date of statement, the Applicant shall be deemed to have waived any right to raise any objection or to pursue any remedies against CIMB-Principal or the Trustee. 8. Set Off CIMB-Principal is entitled to set off any monies due to the Applicant in relation to the account against any debts or liabilities due and/or owing by the Applicant to CIMB-Principal from time to time. 9. Online Access Applicant will be provided with access to an Online Member website upon execution of this form. Applicant will be provided with all relevant information to access an online member account and this will be sent to the mailing address provided on this form. Applicant agrees to receive online statement unless a request is made for printed statement. 10. Liability Neither CIMB-Principal nor any of its PRS consultant shall be liable for any direct, indirect, special or consequential damages which may be suffered and/or to be suffered by the Applicant, such as, but not limited to, loss of anticipated profits or other anticipated economic benefits, whatsoever or howsoever caused, whether in contract or in tort (which includes but is not limited to negligence), arising directly or indirectly in connection with or arising out of this Application and these terms and conditions. 11. Indemnity The Applicant hereby agrees to indemnify CIMB-Principal against all claims by third parties which may be made against CIMB-Principal in connection with this Application and these terms and conditions. 12. Severability Each of the provisions contained herein is severable and distinct from the others and if at any time one or more of such provisions is or becomes invalid, void and/or illegal the enforceability of the remaining provisions hereof shall not in any way be affected or impaired thereby. 13. Successors Bound The form shall be binding upon the heirs, personal representatives, successors in title and permitted assigns of the Applicant. 14. Applicable Law These terms and conditions shall be governed by and construed in accordance with the Laws of Malaysia. 15. Declaration by PRS Consultant a) I agree to abide by all relevant policies of CIMB-Principal and applicable laws including amendments as may be in force from time to time. b) I hereby confirm that I have sighted the original personal identity documents (i.e. either NRIC or Passport) of the Applicant and I have satisfactorily completed the verification of the identity of the Applicant and the name, address, contact numbers, occupation and/or nature of business shown on this application correspond with my records, and agree to make such relevant documentation available to you on request. c) I hereby confirm that I witnessed the signature of the Applicant and I confirm that the particulars of the Applicant stated herein to be true and correct. You are required to satisfactorily verify the identity and address of the Applicant and have adequate records to demonstrate that fact under the local Anti-Money Laundering and Anti-Terrorism Financing Laws, Guidelines and/or Regulations. You should ensure that the names and address of the Applicant are accurate and complete and in accordance with the relevant records.

3 Annexure to Client Registration Form, Unit Trust Account Opening Form and PRS Joint Account Opening Form 1. This annexure will be read in conjunction with the Client Registration Form, the Unit Trust Account Opening Form, the PRS Joint Account Opening Form and relevant terms and conditions, where applicable. Pursuant to the Personal Data Protection Act 2010, please take note that it is mandatory for you to provide CIMB-Principal Asset Management Berhad ( CIMB-Principal ) with the information requested within the Client Registration Form, the Unit Trust Account Opening Form, the PRS Joint Account Opening Form, where applicable. However, the following personal information requested within the respective forms are optional:- Client Registration Form i. Gender vi. Mother s Maiden Name ii. Salutation vii. Employer s Address iii. Marital Status viii. Fax No. iv. Annual Income ix. Address v. No. of Dependent x. Spouse Details Unit Trust Account Opening Form i. Fax No. ii. Address iii. Relationship to First Applicant PRS Joint Account Opening Form i. Salutation ii. Mother s Maiden Name iii. Address 2. Please note that the following clauses will form part of the terms and conditions governing your account with CIMB-Principal in line with the Personal Data Protection Privacy Clause (for Individual Applicant(s)) You hereby confirm that you have read, understood and agreed to be bound by the CIMB-Principal Privacy Notice (which is available at and the clauses herein, as may relate to the processing of your personal information. For the avoidance of doubt, you agree that the said Privacy Notice shall be deemed to be incorporated by reference into this application form In the event you provide personal and financial information relating to third parties, including information relating to your next-of-kin and dependents (where you are an individual) or information relating to your directors, shareholders, officers, individual guarantors and security providers (where you are a corporation), for the purpose of opening or operating your account(s)/investments with us or otherwise subscribing to our products and services, you (a) confirm that you have obtained their consent or are otherwise entitled to provide this information to us and for us to use it in accordance with this agreement; (b) agree to ensure that the personal and financial information of the said third parties is accurate; (c) agree to update us in writing in the event of any material change to the said personal and financial information; and (d) agree to our right to terminate this agreement should such consent be withdrawn by any of the said third parties Where you instruct us to effect any sort of cross-border transaction (including to make or receive payments), the details relevant to the cross-border transaction (including information relating to those involved in the said transaction) may be received from or sent abroad, where it could be accessible (whether directly or indirectly) by overseas regulators and authorities in connection with their legitimate duties (e.g. the prevention of crime). In instructing us and/or our agents to enter into any cross-border transaction on your behalf, you agree to the above said disclosures on behalf of yourself and others involved in the said cross-border transaction We may use a credit reporting/reference agency to help make decisions, for example when we need to (a) check details on applications for credit and credit-related or other facilities; (b) manage credit and credit-related accounts or facilities, including conducting reviews of your portfolio(s); and/or recover debts. You will be linked by credit reporting/ reference agencies to any other names you use or have used, and any joint and several applicants. We may also share information about you and how you manage your account(s)/investment(s) with relevant credit reporting/reference agencies Even after you have provided us with any information, you will have the option to withdraw the consent given earlier. In such instances, we will have the right to not provide or discontinue the provision of any product, service and/or account(s) and/or investment(s) that is/are linked with such information We reserve the right to amend this clause from time to time at our sole discretion and shall provide prior notification to you in writing and place any such amendments on our websites and/or by placing notices at prominent locations within our branches This clause shall be without prejudice to any other clause in this application form which provides for the disclosure of information Privacy Clause for (for Non-Individual Applicant(s)) You hereby irrevocably consent and authorise, and confirm that you have duly obtained your directors, shareholders, officers, guarantors and/or such other relevant persons consent and authority, for CIMB-Principal: i. to be provided information (inclusive of relevant personal information of the said directors, shareholders, officers, guarantors and/or relevant persons) as may be required by CIMB-Principal for use in accordance with this application form; ii. to carry out the necessary reference checks including but not limited to credit reference/reporting checks to further ascertain your status and your subsidiaries, directors, shareholders, officers, guarantors and/or such other relevant persons; iii. to disclose the said directors, shareholders, officers, guarantors and/or relevant persons personal information to the classes of parties described in CIMB-Principal s Privacy Notice; and iv. to provide the said directors, shareholders, officers, guarantors and/or relevant persons with information on CIMB-Principal s products, services and/or offers (inclusive of the products, services and offers of entities within the CIMB Group) which may be of interest and/or financial benefit to them, at CIMB-Principal s sole discretion without further reference to you, your subsidiaries, directors, shareholders, officers, guarantors and/or relevant persons. You agree to undertake the responsibility to update CIMB-Principal in writing should there be any change to the personal and financial information relating to the said directors, shareholders, officers, guarantors and/or relevant persons. Should the said consent and/or authority be subsequently revoked by any of the said directors, shareholders, officers, guarantors and/or relevant persons, you agree that CIMB-Principal shall have the right to terminate its products and/or services. 3. Foreign Account Tax Compliance Act ( FATCA ) Declaration for Unit Trust and PRS Products 3.1. You hereby confirm that you are not a US resident/us citizen/us permanent resident or not an US entity/legal entity with US directors/shareholders with more than twenty-five percent (25%) ownership/us person(s) as beneficial owner(s) and hereby declare that the confirmation provided by you in this Annexure as of date is true, accurate and complete Where required and subject to any applicable local laws, you also consent for CIMB-Principal, its parent or ultimate holding company or any of its affiliates (including branches) to share your information with domestic or overseas regulators or tax authorities where necessary to establish your tax liability in any/or the relevant jurisdiction Where required by domestic or overseas regulators or tax authorities, you also understand and agree that CIMB-Principal may be required to obtain additional documents and/or forms, which you/authorized signatory/director(s) will sign, if you/shareholders/director(s) are subject to the relevant jurisdiction s requirements You also agree and undertake to notify CIMB-Principal within thirty (30) days, or provide additional information if requested by CIMB-Principal, if there is any change in the information which you have provided to CIMB-Principal Where in the event of any indication that you may be deemed as possibly US person(s), whether individual or entity wise, you are required to complete the relevant form for individual or entity respectively and return the completed form with the supporting identification document(s) to CIMB-Principal within thirty (30) days of our request. Failure to do so shall render CIMB-Principal the right to terminate the business relationship with you. 4. Goods and Services Tax ( GST ) Act 2014 Any fees and charges payable by you are subject to any applicable taxes (including but not limited to GST) and/or duties as may be imposed by the government and/or the relevant authorities from time to time. Annexure (IUTA) Version 1.0 dated 27/06/16 Page 1/2

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5 Annexure to Client Registration Form, Unit Trust Account Opening Form and PRS Joint Account Opening Form NRIC/PASSPORT/ID/ NO.: PASSPORT EXPIRY DATE (If applicable): D D / M M / Y Y Y Y FULL NAME (As per identification document): OCCUPATION DETAILS - Please tick ( ) one only OCCUPATION: Agriculture Accounting/Finance Arts/ Entertainment Civil Service Commissioned: Sales or Advisory Education Professional Freelance/Professional (Must indicate Nature of Business) General Worker/ Labour Housewife Medical Professional Money Services Police/Armed Forces Retiree Sales/Marketing Self-Employed/Business Owner (Must indicate Nature of Business) Skilled Worker Technical/ Engineering Trustee/ Custodian Unemployed Others (Please specify) NATURE OF BUSINESS (If Occupation is Freelance/ Professional, Self- Employed/Business Owner): Arms Manufacturer Gaming & Gambling Jewellery, Gold and Luxury Products Educational Service General Retail Personal Services Entertainment Outlets Hotel/Catering Service Professional Firm Farming/Fishing/ Forestry Industrial Manufacturing and Distribution Real Estate/Property Financial Intermediary Import/Export Reflexology/Massage Parlour Retail: Electronic and Telecommunication Goods Second Hand Dealers Travel Agency Wholesale Consumer Goods Others (Please specify) SOURCE OF FUNDS AND PURPOSE OF ACCOUNT/TRANSACTION - Please tick ( ) one only SOURCE OF FUNDS Employment Sale of Assets Inheritance Savings Business Others (Please specify) PURPOSE OF TRANSACTION OR ACCOUNT TO BE OPENED: Investment Retirement Protection Others (Please specify) POLITICALLY EXPOSED PERSON (PEP) CONFIRMATION Do you hold any (or are you related to such persons) Public or Political Office, including committee/council positions? Yes No DECLARATION AND SIGNATURE I hereby declare that the above information given by me is true, accurate and complete and that I have not been declared a bankrupt person and that the source of fund(s) invested herein does not contravene the laws of Malaysia including the Anti-Money Laundering, Anti-Terrorism Financing and Proceeds of Unlawful Activities Act I acknowledge that I am aware that there are fees and charges that I will incur directly or indirectly when investing in the fund(s)/class of fund(s). I have read and fully understood the terms and conditions in the form(s) and the latest Prospectus/ Information Memorandum/Disclosure Document, the Supplementary Prospectus/Information Memorandum/Disclosure Document (if any), as maybe amended from time to time. I hereby acknowledge that I have accessed and/or read the Privacy Notice issued by CIMB-Principal (which is available at your branches as well as at or otherwise made available to me and confirm my agreement to the same. SIGNATURE OF INVESTOR DATE: D D / M M / Y Y Y Y FOR CONSULTANT/BANK BRANCH USE FOR OFFICE USE ONLY CONSULTANT/STAFF CODE: CONSULTANT NAME/ BANK BRANCH:: CONSULTANT H/P NO:: SIGNATURE: RECEIVED BY: DATE: DATE: INITIAL: Annexure (IUTA) Version 1.0 dated 27/06/16 Page 2/2

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7 INDIVIDUAL SELF-CERTIFICATION FORM Part 1: Identification of Account Holder Full Name: Current Mailing Address: Postal Code/Zip Code: Country: Permanent Address (if different): Postal Code/Zip Code: Date of Birth: Country: Place & Country of Birth: Part 2: Tax Residence Information Country/Jurisdiction of Tax Residence Tax Identification Number (TIN) or equivalent If TIN or equivalent is unavailable, please state reason (A, B or C) Reason A The country/jurisdiction where Account Holder is liable to pay tax does not issue TIN to its residents Reason B The Account Holder is otherwise unable to obtain a TIN or equivalent number Reason C No TIN is required (note : only select this reason if the authorities of the country of residence for tax purposes entered below do not require the TIN to be disclosed) For Reason B, please explain reason of Account Holder unable to obtain TIN or equivalent number Part 3: Declaration I understand that the information supplied by me is subject to the terms and conditions governing the Account Holder s relationship with CIMB-Principal Asset Management Berhad ( CIMB-Principal ) and its related and associated corporations (collectively CIMB-Principal Group ) setting out how CIMB-Principal may use and share the information supplied by me. Individual Self-Certification Form (CPAM) version 1.0 dated 21 st June 2017 Pa

8 I acknowledge that the information contained in this form and information regarding the Account Holder and any Reportable Account(s) may be provided directly or indirectly to any relevant tax authority, including of the country/jurisdiction in which this account(s) is/are maintained and exchanged with tax authorities of another country/jurisdiction or countries/jurisdictions in which the Account Holder may be resident for tax purposes pursuant to agreements between competent authorities to exchange financial account information. I certify that I am the Account Holder or am authorized to sign for the Account Holder*, of the account(s) to which this form relates and I declare that all statements made in this declaration are to the best of my knowledge and belief, correct and complete. If there is a change in circumstances that affects the tax residence of the Account Holder or causes the information contained herein to become incorrect or incomplete, I understand that I am obligated to inform CIMB-Principal of the change in circumstances within 30 days of its occurrence and to provide a suitably updated self-certification. Signature & Name Date Passport/ID No. Passport Expiry Date * Authoristtion on behtlf of the Account Holder must be tccomptnied with Power of Attorney or equivtlent recognized document of the country. Individual Self-Certification Form (CPAM) version 1.0 dated 21 st June 2017 Pa

9 APPENDIX - Definitions 1. ACCOUNT HOLDER Means the person listed or identified as the holder of a Financial Account by the Financial Institution that maintains the account. A person, other than a Financial Institution, holding a Financial Account for the benefit of another person as an agent, a custodian, a nominee, a signatory, an investment advisor, an intermediary, or as a legal guardian, is not treated as the Account Holder. With respect to a jointly held account, each joint holder is treated as an Account Holder. 2. CONTROLLING PERSON Means the natural persons who exercise control over an entity or any shareholder with interest of more than 25% shares or threshold set by the local authority. In case of a trust, such term means settlor, the trustee, the protector (if any), the beneficiaries or class of beneficiaries, and any other natural person exercising ultimate effective control over the trust, and in the case of a legal arrangement other than a trust, such term means persons in equivalent or similar positions. The term Controlling Persons must be interpreted in a manner consistent with the FATF recommendations or by the local regulations governing non-individual entities. If the account is maintained for an entity of which the individual is a Controlling Person, then the Controlling Person tax residency Self- Certification form should be completed instead of this form. 3. ENTITY Means a legal person or a legal arrangement, such as corporation, partnership, trust or foundation. 4. FINANCIAL ACCOUNT Means an account maintained by a Financial Institution, and includes Depository Accounts, Custodial Accounts, Equity and debt interest in certain Investment Entities; Cash Value Insurance Contracts and Annuity Contracts. 5. REPORTABLE ACCOUNT Means an account held by one or more Reportable Persons or by a Passive NFE with one or more Controlling Persons that is a Reportable Person. 6. REPORTABLE PERSON A Reportable Person is defined as an individual who is tax resident in a Reportable Jurisdiction under the tax laws of that jurisdiction. 7. TIN Means Taxpayer Identification Number or functional equivalent in the absence of a Taxpayer Identification Number. Further details of acceptable TINs can be found at: DISCLAIMER: The above are selected definitions to assist you with the completion of this Form. Should you have any questions, please contact your tax, legal and/or other professional advisor or visit the OECD Common Reporting Standard for Automatic Exchange of Financial Account Information (the CRS ) website at: Individual Self-Certification Form (CPAM) version 1.0 dated 21 st June 2017 Pa